Securities Registration, Exemptions & Notice Filings
| Fee
|
Securities Registration Statement
| $1,500
|
Securities Registration Statement Amendment
| $200
|
Securities Registration Statement Extension
| $200
|
Investment Company Annual Sales Report
| $750 - $15,000 for mutual funds
|
Application for Securities Order of Exemption
| $200
|
Notice Filing for Claiming Registration Exemption
| $200
|
Application for Opinion Confirming a Registration Exemption
| $500
|
Prospectus Filed by Registered Finance Company
| $50
|
Advertising Filing
| $10 per item
|
Federal Covered Security Notice Filing
| $200
|
| | |
Franchising | Fee |
| Franchise Registration Notice Filing | $400 |
| Application for Amendment of Franchise Registration | $200 |
| Application for Franchise Order of Exemption | $200 |
| Application for Interpretive Franchise Opinion | $500 |
| Application for Opinion Confirming Franchise Exemption | $500 |
| | |
Crowdfunding
| Fee
|
Internet Site Operator Registration
| $100 |
| Wis. Stat. s. 551.202(26) Issuer Exemption Notice Filing | $50 |
| Wis. Stat. s. 551.202(27) Issuer Exemption Notice Filing | $50 |
| | |
Takeover
| Fee
|
Going Private Notice
| $200
|
Offeror Takeover Registration Statement
| $100
|
Target Company Request for Hearing
| $100
|
TO-1 Takeover Statement of Ownership Filing
| $100
|
TO-2 Takeover Statement of Ownership Filing
| $100
|
Amendment of Ownership Statement
| $100
|
Takeover Section 13(d) Filing
| $100
|
Examination of Ownership Filings
| $50
|
Examination of Takeover Soliciation Materials
| $10 per item
|
Application for Interpretive Opinion on Takeover
| $500
|
Application for Takeover Exemption Order
| $200
|
|
|
Other
| Fee
|
Issuance of Certificate
| $50 + $1 per page
|
Issuance of Interpretive Opinion
| $500
|
Application for Exclusion from a Definition by Order
| $200
|
Late Fees
| $100 (a $200 late fee is permissable by order)
|